LLMResponse CM.L2-3.4.9.b

Evidence Prioritization for CM.L2-3.4.9, Objective B

Based on the CMMC Level 2 Assessment Guide and your requirements, I'll provide guidance on how to prioritize evidence types and assessment approaches for demonstrating compliance with assessment objective "[b] installation of software by users is controlled based on the established policy."

Evidence Type Ranking

From most valuable to least valuable for this specific assessment objective:

1. **Screen Share** - This would be your highest priority evidence type because demonstrating active controls requires showing them in operation. A screen share can directly show permission restrictions, software installation attempts being blocked, or approval workflows in action.

2. **Artifacts** - Technical configurations, system logs showing blocked installation attempts, or approved software lists are strong evidence that controls are implemented according to policy.

3. **Physical Review** - On-site observation of workstations to verify control mechanisms are in place, such as restricted permissions or technical controls.

4. **Documents** - While still valuable, documents alone (like configuration guides or technical specifications) are less compelling than direct observation of controls in action.

Assessment Approach Prioritization

1. **Test** - This should be your primary approach for objective [b] because it directly demonstrates that controls are functioning as intended. Key tests include:

  - Attempting software installation with a non-privileged user account to verify restrictions
  - Demonstrating the approval workflow process
  - Showing how technical controls enforce the policy

2. **Examine** - This would be your secondary approach to verify the implementation details:

  - System configuration settings for user permissions
  - List of rules governing user-installed software
  - System security plan sections detailing control implementation
  - Technical documentation of control mechanisms

3. **Interview** - While still important, interviews are less definitive than testing or examining for this objective. Consider interviewing:

  - System or network administrators who implement the controls
  - Personnel with information security responsibilities
  - Users to confirm their understanding of installation restrictions

Implementation Recommendation

1. Start with testing to demonstrate that the controls actually prevent unauthorized software installation. Show attempts by regular users to install software and how they are blocked or redirected to approval processes.

2. Follow with examination of the technical configurations that implement the controls, such as Group Policy Objects, endpoint protection settings, or software restriction policies.

3. Supplement with interviews of IT personnel who can explain how the controls are maintained and updated in accordance with the policy.

Unlike objective [a] which focuses on policy establishment, objective [b] requires evidence that actual controls are in place and functioning. The emphasis here should be on demonstrating the effectiveness of those controls rather than just their documentation.